There will be a traffic interruption in fileX service in CT and PROD environment for the duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Tuesday June 6, 2023 from 8 p.m to 10 p.m
Contact FINRA Support Center at (800) 321-6273, or by email, if you have any questions.
Last modified: March 17, 2021
The access and use of any information submission functions, content, materials, or services available on the Financial Industry Networking Directory (FIND)TM (“FIND” or the “FIND Service”) is conditioned upon the acceptance by you (“You” or “Your”), without modification, of these terms of use, and the terms and conditions displayed at https://www.finra.org/terms-of-
Arbitrators are the triers of fact in FINRA arbitrations and they have great authority and wide latitude to decide matters as they see fit. Arbitrators must be, and appear to be, ethical, unbiased and neutral. In this section, you will find the resources and guidelines to achieve these goals.On This PageCode of Ethics for ArbitratorsDisclosure RequirementsDisqualification Criteria10 Best
There will be a traffic interruption in fileX service in CT and PROD environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Thursday April 27, 2023 from 8 p.m to 10 p.m
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
There will be a traffic interruption in fileX service in CT and PROD environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Tuesday January 31, 2023 from 7 p.m to 8 p.m
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
On March 18, 2013, FINRA will be upgrading Secure Transport in the Production (PD) environment from the current version of 4.9 to version 5.1. These changes will be available in the Certificate Test (CT) environment on February 19, 2013.
There will be a traffic interruption in fileX SFTP service in QAINT environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
QA-INT: Every Tuesday from 6 p.m to Wednesday 7 p.m until Oct 19, 2022
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
